information 117:crdk 7r8 - justice
TRANSCRIPT
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UNITED STATES DISTRICT COURT ELECTRONIC ALLY FILED SOUTHERN DISTRICT OF NEW YORK DOC#: ________ _
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D~TE UNITED STATES OF AMERICA
L'~~~OEC i 1=-~L-
V • - INFORMATION
COLIN STEVEN, 17 Cr.
Defendant.
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117:CRDK - - X
7R8 The United States Attorney charges:
COUNT ONE (Conspiracy to Violate the Foreign Corrupt Practices Act)
Overview
1. From in or about November 2009, up to and including in
or about April 2011, COLIN STEVEN, the defendant, engaged 1n an
international conspiracy to bribe an official of the Kingdom of
Saudi Arabia (the "Saudi Arabia Official") in connection with
the $93 million sale of jets from STEVEN's employer, Embraer
S.A. ("Embraer"), to a company located in Saudi Arabia (the·
"Saudi Arabia Company"). As part of the scheme, STEVEN caused
approximately $1.5 million in bribe payments to be made by
Embraer to the Saudi Arabia Official through an intermediary
company located in South Africa (the "South Africa Company").
In exchange for those payments, the Saudi Arabia Official
provided more favorable terms to Embraer in a sale of jets to
the Saudi Arabia Company. As a further p~rt of the scheme,
1 JUDGE NATHAN
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STEVEN arranged to and did receive a kickback from a portion of
the bribe proceeds.
Re1evant Persons and Entities
2. At all times relevant to this Information, Embraer was
an aircraft manufacturer based in Brazil, with operations and
subsidiaries in various locations around the world, including
the United States and the Middle East. Embraer manufactured
commercial, executive, and defense aircraft for governmental-and
private customers throughout the world. Embraer's American
depositary shares were listed and traded on the New York Stock
Exchange, and Embraer was required to file periodic reports with
the Securities and Exchange Commission under Section 15(d) of
the Securities Exchange Act, Title 15, United States Code,
Section 78o(d). Accordingly, Embraer was an issuer within the
meaning of the Foreign Corrupt Practices Act ("FCPA"), Title 15,
United States Code, Sections 78dd-l and 78m. Embraer
Representations LLC ("Embraer RL") was a subsidiary wholly owned
by Embraer and incorporated in Delaware. Embraer RL maintained
a bank account in Manhattan, New York.
3. At all times relevant to this Information, COLIN
STEVEN, the defendant, was a British national. Until December
2013, STEVEN was an executive in Embraer's Executive Jets
Division and had responsibility for overseeing the generation of
sales in regions that included the Middle East. Accordingly,
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STEVEN was an "employee" and "agent" of an issuer within the
meaning of the FCPA, Title 15, United States Code, Section 78dd-
1.
4. The Saudi Arabia Company was the state-owned and
state-controlled national oil company of Saudi Arabia, and
performed a function that Saudi Arabia treated as its own.
Accordingly, the Saudi Arabia Company was an "instrumentality"
of a foreign government within the meaning of the FCPA, Title
15, United States Code, Section 78dd-l(f) (1). The Saudi Arabia
Official was a high-level official at the Saudi Arabia Company
who had influence over aircraft purchasing decisions.
5. The South Africa Company was an industrial valve and
pump manufacturer partially owned by friends of COLIN STEVEN,.
the defendant. As of the time of the events described in this
Information, the South Africa Company had no experience in the
aircraft industry or in Saudi Arabia.
The FCPA Bribery Scheme
6. From in or about November 2009 through in or about
April 2011, COLIN STEVEN, with others, agreed to pay, and caused
and aided and abetted Embraer's actual payment of, approximately
$1.5 million in bribes to the Saudi Arabia Official in order to
obtain a contract between the Saudi Arabia Company and Embraer
for the sale of three business jets, valued at approximately $93
million.
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7. In his capacity as an executive with Embraer's
Executive Jets Division, COLIN STEVEN, the defendant, oversaw
staff who were responsible for selling new and used Embraer
aircraft. Both Embraer's revenue and employees' sales
commissions, including for STEVEN and the sales agents he
supervised, were significantly higher for sales of new aircraft
compared to used aircraft.
8. In or about 2006, COLIN STEVEN, the defendant, and
others at Embraer learned that the Saudi Arabia Company was
interested in purchasing aircraft. Thereafter, and until in or
about the fall of 2009, STEVEN and a salesperson who reported to
him had occasional contact with employees of the Saudi Arabi~
Company, and periodically discussed the potential sale of
Embraer aircraft. During that period, STEVEN learned that the
Saudi Arabia Company was interested in purchasing . used aircraft. '
9. In or about late 2009, COLIN STEVEN, the defendant,
met with the Saudi Arabia Official in London, England. The
Saudi Arabia Official offered to help Embraer win the aircraft
contract from the Saudi Arabia Company, and to change the deal
from used jets to new jets if Embraer paid the Saudi Arabia
Official. STEVEN knew that the Saudi Arabia Official was a
high-level official at the Saudi Arabia Company and believed
that the Saudi Arabia Official could deliver on the promise.
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10. Over the course of multiple discussions in London,
England, and with the approval of his supervisor ("Embraer
Executive A"), COLIN STEVEN, the defendant, and the Saudi Arabia
Official agreed on a per-aircraft payment of $550,000 to be paid
to the Saudi Arabia Official, for a total bribe amount of $1.65
million.
11. On or about December 10, 2009, COLIN STEVEN, the
defendant, sent an email to Embraer Executive A and another
Embraer executive ("Embraer Executive B"), in which STEVEN
wrote, in part, that the Saudi Arabia Official "has budget[ed]
for used [aircraft] only and will have to lobby for more funds
to take new [aircraft] over used." Defendant STEVEN added,
"[t]here is more to come to replace the entire fleet they have
with [Embraer model] 170, s [sic] [Saudi Arabia Official] sees.
this as long term." Embraer Executive A approved offering a
per-aircraft payment of $550,000 to the Saudi Arabia Official.
12. In or about late 2009 and early 2010, COLIN STEVEN,
the defendant, developed a plan to use the South Africa Company
as a purported agent on the transaction with the Saudi Arabia
Company. As a result, Embraer would pay $1.65 million in
"finders fees" to the South Africa Company. In truth and in
fact, the South Africa Company would perform no work on the
transaction and would be used to facilitate and to disguise the
payment to the Saudi Arabia Official.
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13. Between in or about late 2009 and in or about early
2010, COLIN STEVEN, the defendant, had a telephone conversation
with an executive at Embraer ("Embraer Executive C"), in which
STEVEN described the planned bribery scheme and the plan to use
the South Africa Company as the entity that would pass the
payments to the Saudi Arabia Official. Embraer Executive C
reassured STEVEN that South Africa Company could be trusted to
pass on the money to the Saudi Arabia Official.
14. In or about early 2010, acting on the Saudi Arabia
Official's recommendation, a committee at the Saudi Arabia
Company approved the Saudi Arabia Company's purchase of three
new aircraft from Embraer for $93 million.
15. On or about March 5, 2010, Embraer RL executed an
agreement with the South Africa Company, pursuant to which the
South Africa Company would purportedly "promote sales of .
aircraft manufactured by Embraer .. solely and specifically
to" a subsidiary of the Saudi Arabia Company. In reality, the
South Africa Company provided no services to Embraer other than
serving as a conduit to funnel payments to the Saudi Arabia
Official. The agreement did not disclose that the payments were
ultimately bound for the Saudi Arabia Official.
16. Less than two weeks later, on or about March 15, 2010,
Embraer and a U.S.-based subsidiary of the Saudi Arabia Company
entered into an aircraft purchase agreement, pursuant to which
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the subsidiary agreed to purchase three new aircraft for
approximately $93 million. The aircraft were delivered in or
around November and December 2010.
17. In or about December 2010, the South Africa Company
submitted three invoices to Embraer, each in the amount of
$550,000, for its purported commission, even though it had not
rendered any services to Embraer in connection with the sale.
Executives at Embraer approved paying the invoices. The
payments were made through two wire transfers from Embraer RL's
bank account in Manhattan, New York, to the South Africa
Company's bank account in South Africa: $550,000 on or about
December 22, 2010, and $1.1 million on or about February 18,
2011.
18. Between on or about February 2, 2011, and on or about
April 5, 2011, the South Africa Company made three wire
transfers totaling $1,434,100 to bank accounts in Switzerland
and Bahrain held by an individual who was acting as an
intermediary for the Saudi Arabia Official ("Intermediary A").
Intermediary A kept a portion of the funds and transferred the
remainder to the Saudi Arabia Official.
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The Kickback Scheme
19. As set forth below, COLIN STEVEN, the defendant,
caused a portion of the fraudulent payment that Embraer RL made
to the South Africa Company to be paid to STEVEN as a kickback.
In total, STEVEN received approximately $129,935 in kickbacks.
20. In or about late 2009 and early 2010, while COLIN
STEVEN, the defendant, with others, was arranging to pay the
Saudi Arabia Official, STEVEN also developed a plan to take a
portion of the money as a kickback. STEVEN discussed this plan
with Embraer Executive C, and the two agreed that STEVEN,
Embraer Executive C, and the South Africa Company would each
take a portion of the $1.65 million to be paid by Embraer RL.
21. At the direction of COLIN STEVEN, the defendant, and
unbeknownst to Embraer, the South Africa Company transferred to
STEVEN's United States bank account $129,935 of the $1.65
million it had received from Embraer RL: $97,465 on or about
October 21, 2011, and $32,470 on or about December 1, 2011.
Those wire transfers passed through a bank in Manhattan, New
York.
22. COLIN STEVEN, the defendant, and Embraer Executive C,
who had recently been promoted within the company, subsequently
had a telephone conversation in which Embraer Executive C
informed STEVEN that Embraer Executive C no longer wanted his
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share of the money. As a result, STEVEN kept all of the
$129,935 he received from the South Africa Company.
23. In or about March 2010 and November 2010, Embraer paid
COLIN STEVEN, the defendant, a total of $44,000 in commissions
based on the sale of the three new afrcraft to Saudi Arabia
Company.
24. On or about December 19, 2014, COLIN STEVEN, the
defendant, was interviewed by an agent of the Federal Bureau of
Investigation ("FBI"). During that interview, when asked about
one of the wire transfers he received from the South Africa
Company in 2011, STEVEN falsely stated that the funds had been
transferred to him by an executive of the South Africa Company
for the purpose of buying real estate in connection with a
potential business venture between STEVEN and the executive.
Statutory Allegations
25. From in or about November 2009, up to and including in
or about April 2011, in the Southern District of New York and
elsewhere, COLIN STEVEN, the defendant, and others known and
unknown, willfully and knowingly did combine, conspire,
confederate, and agree together and with each other to commit an
offense against the United States, to wit, a violation of the
FCPA, Title 15, United States Code, Section 78dd-l.
26. It was a part and object of the conspiracy that COLIN
STEVEN, the defendant, being an employee and agent of an issuer,
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and aiding and abetting an issuer, together with others known
and unknown, would and did.willfully make use of the mails and
means and instrumentalities of interstate commerce corruptly in
furtherance of an offer, payment, promise to pay, and
authorization of the payment of any money, and offer, gift,
promise to give, and authorization of the giving of anything of
value to a foreign official, and to a person, while knowing that
all and a portion of such money and thing of value would be and
had been offered, given, and promised, directly and indirectly,
to a foreign official, for purposes of: (i) influencing acts and
decisions of such foreign official in that foreign official's
official capacity; (ii) inducing such foreign official to do and
omit to do acts in violation of the lawful duty of such foreign
official; (iii) securing any improper advantage; and (iv)
inducing such foreign official to use that foreign official's
influence with a foreign government and instrumentalities
thereof to affect and influence acts and decisions of such
government and instrumentalities, in order to assist Embraer in
obtaining and retaining business for and with, and directing
business to, Embraer and others.
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Overt Acts
27. In furtherance of the conspiracy and to effect the
illegal object thereof, the following overt acts, among others,
were committed in the Southern District of New York and
elsewhere:
a. In or about late 2009, COLIN STEVEN, the
defendant, met with the Saudi Arabia Official in London,
England, and discussed the payment of money to the Saudi Arabia
Official in exchange for that official's help in causing the
Saudi Arabia Company to award Embraer a contract for the sale of
three aircraft and in changing the terms of the deal from used
jets to new jets.
b. In or about late 2009, STEVEN met with the Saudi
Arabia Official in London and agreed on a per-aircraft bribe
amount of $550,000, for a total amount of $1.65 million, in
exchange for the Saudi Arabia Official's assistance on the deal.
c. On or about January 5, 2010, STEVEN sent an email
to other Embraer employees, including his supervisor, in which
STEVEN summarized information and advice that he had received
from the Saudi Arabia Official concerning the negotiation of the
sale of new aircraft to the Saudi Arabia Company.
d. On or about December 22, 2010, STEVEN, with
others, caused Embraer RL to transfer $550,000 from its bank
account in Manhattan, New York, to the South Africa Company.
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e. On or about February 18, 2010, STEVEN, with
others, caused Embraer RL to transfer $1.1 million from its bank
account in Manhattan, New York, to the South Africa Company.
(Title 18, United States Code, Section 371.)
COUNT TWO (Violation of the Foreign Corrupt Practices Act)
The United States Attorney further charges:
28. The allegation set forth in paragraphs 1 through 24
are repeated and realleged as if fully set forth herein.
29. On or about February 18, 2011, in the Southern
District of New York and elsewhere, COLIN STEVEN, the defendant,
being an employee and agent of an issuer, and by aiding and
abetting an issuer, willfully used and caused to be used the
mails and means and instrumentalities of interstate commerce
corruptly in furtherance of an offer, payment, promise to pay,
and authorization of the payment of money, and offer, gift,
promise to give, and authorization of the giving of anything of
value to a foreign official, and to a person, while knowing that
all and a portion of such money and thing of value would be and
had been offered, given, and promised, directly and indirectly,
to a foreign official, for purposes of: ( i) influencing acts and
decisions of such foreign official in that foreign official's
official capacity; (ii) inducing such foreign official to do and
omit to do acts in violation of the lawful duty of such foreign
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official; (iii) securing any improper advantage; and (iv)
inducing such foreign official to use that foreign official's
influence with a foreign government and instrumentalities
thereof to affect and influence acts and decisions of such
government and instrumentalities, to wit, STEVEN caused and
aided and abetted the transfer of $1.1 million from Embraer RL's
bank account in Manhattan, New York to the South Africa
Company's bank account in South Africa, in order to assist
Embraer in obtaining and retaining business for and with, and
directing business to, Embraer and others.
{Title 15, United States Code, Sections 78dd-l and 78ff(c)(2){A); and Title 18, United States Code, Section 2.)
COUNT THREE (Wire Fraud Conspiracy)
The United States Attorney further charges:
30. The allegation set forth 1n paragraphs 1 through 24
are repeated and realleged as if fully set forth herein.
31. From in or about December 2009, up to and including in
or around December 2011, in the Southern District of New York
and elsewhere, COLIN STEVEN, the defendant, and others known and
unknown, willfully and knowingly did combine, conspire,
confederate, and agree together and with each other to commit
wire fraud, in violation of Title 18, United States Code,
Section 1343, to wit, STEVEN, with others, caused Embraer RL to
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wire approximately $1.65 million to the South Africa Company,
with STEVEN concealing that he would receive approximately
$129,935 of that money.
32. It was a part and an obJect of the conspiracy that
COLIN STEVEN, the defendant, and others known and unknown,
willfully and knowingly, having devised and intending to devise
a scheme and artifice to defraud, and for obtaining money and
property by means of false and fraudulent pretenses,
representations, and promises, would and did transmit and cause
to be transmitted by means of wire, radio, and television
communication in interstate and foreign commerce, writings,
signs, signals, pictures, and sounds for the purpose of
executing such scheme and artifice, in violation of Title 18,
United States Code, Section 1343.
(Title 18, United States Code, Section 1349.)
COUNT FOUR (Wire Fraud)
The United States Attorney further charges:
33. The allegation set forth in paragraphs 1 through 24
are repeated and realleged as if fully set forth herein.
34. From in or about December 2010, up to and including in
or about December 2011, in the Southern District of New York and
elsewhere, COLIN STEVEN, the defendant, willfully and knowingly,
having devised and intending to devise a scheme and artifice to
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defraud, and for obtaining money and property by means of false
and fraudulent pretenses, representations, and promises,
transmitted and caused to be transmitted by means of wire,
radio, and television communication in interstate and foreign
commerce, writings, signs, signals, pictures, and sounds for the
purpose of executing such scheme and artifice, and did aid and
abet the same, to wit, STEVEN caused Embraer RL to wire
approximately $1.65 million to the South Africa Company, with
STEVEN concealing that he would and did receive approximately
$129,935 of that money.
(Title 18, United States Code, Sections 1343 and 2.)
COUNT FIVE (Money Laundering Conspiracy)
The United States Attorney further charges:
35. The allegation set forth in paragraphs 1 through 24
are repeated and realleged as if fully set forth herein.
36. From in or about December 2009, up to and including in
or about December 2011, in the Southern District of New York and
elsewhere, COLIN STEVEN, the defendant, and others known and
unknown, willfully and knowingly did combine, conspire,
confederate, and agree together and with each other to commit
money laundering, in violation of Title 18, United States Code,
Section 1956 (a) (2) (A) .
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37. It was a part and an object of the conspiracy that
COLIN STEVEN, the defendant, and others known and unknown, would
and did knowingly transport, transmit, and transfer, and attempt
to transport, transmit, and transfer a monetary instrument and
funds from a place in the United States to and through a place
outside the United States, and to a place in the United States
from and through a place outside the United States, with the
intent to promote the carrying on of specified unlawful
activity, to wit, the FCPA violations charged in Counts One and
Two of this Information and the wire fraud violations charged in
Counts Three and Four of this Information.
(Title 18, United States Code,.Section 1956(h) .)
COUNT SIX (Money Laundering)
The United States Attorney further charges:
38. The allegation set forth in paragraphs 1 through 24
are repeated and realleged as if fully set forth herein.
39. From in or about December 2010, up to and including' in
or about December 2011, in the Southern District of New York and
elsewhere, COLIN STEVEN, the defendant, did knowingly transport,
transmit, and transfer, and aid, abet, and cause others to
transport, transmit, and transfer, and attempt to transport,
transmit, and transfer a monetary instrument and funds, from a
place in the United States to and through a place outside the
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United States, and to a place in the United States from and
through a place outside the United States, with the intent to
promote the carrying on of specified unlawful activity, to wit,
the FCPA violations charged in Counts One and Two of this
Information and the wire fraud violations charged in Counts
Three and Four of this Information.
(Title 18, United States Code, Sections 1956(a)(2)(A) and 2.)
COUNT SEVEN (False Statement)
The United States Attorney further charges:
40. The allegations set forth in paragraphs 1 through 24
are repeated and realleged as if fully set forth herein.
41. On or about December 19, 2014, in the Southern
District of Florida and elsewhere, COLIN STEVEN, the defendant,
in a matter within the jurisdiction of the executive branch of
the Government of the United States, knowingly and willfully
made a materially false, fictitious, and fraudulent statement
and representation, to wit, during an interview with the FBI,
STEVEN falsely stated that funds he had received from the South
Africa Company in 2011 had been transferred to him by an
executive of the South Africa Company for the purpose of buying
real estate in connection with a potential business venture
between himself and the executive when, in truth and in fact,
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those funds constituted a kickback of a portion of bribery
payments from Embraer.
(Title 18, United States Code, Section 1001.)
FORFEITURE ALLEGATION AS TO COUNTS ONE THROUGH FOUR
42. As a result of committing the offenses alleged in
Counts One through Four of this Information, COLIN STEVEN, the
defendant, shall forfeit to the United States, pursuant to Title
18, United States Code, Section 981 (a) (1) (C), and Title 28,
United States Code, Section 2461(c), any and all property, real
and personal, which constitutes or is derived from proceeds
traceable to the commission of the offenses alleged in Counts
One through Four of this Information that the defendant
personally obtained.
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FORFEITURE ALLEGATION AS TO COUNTS FIVE AND SIX
43. As a result of committing the offenses alleged in
Counts Five and Six of this Information, COLIN STEVEN, the
defendant, shall forfeit to the United States, pursuant to Title
18, United States Code, Section 982(a) (1), any and all property,
real and personal, involved in the offenses alleged in Counts
Five and Six of this Information, or any property traceable to
such property, including but not limited to a sum of money in
United States currency representing the amount of property
involved in said offenses that the defendant personally
obtained.
Substitute Assets Provision
44. If any of the property described above as being
subject to forfeiture, as a result of any act or omission of
COLIN STEVEN, the defendant:
a. cannot be located upon the exercise of due
diligence;
b. has been transferred or sold to, or deposited
with, a third party;
c. has been placed beyond the jurisdiction of the
court;
d. has been substantially diminished in value; or
e. has been commingled with other property which
cannot be divided without difficulty;
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it is the intent of the United States, pursuant to Title 21,
United States Code, Section 853(p); and Title 28, United States
Code, Section 2461(c), to seek forfeiture of any other property
of said defendant up to the value of the forfeitable property
described above.
(Title 18, United States Code, Sections 981 and 982; Title 21, United States Code, Section 853;
Title 28, United States Code, Section 2461.)
JOON H. KIM SANDRA MOSER Acting United States Attorney Acting Chief, Fraud Section
Criminal Division United States Department of Justice
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Case 1:17-cr-00788-AJN Document 2 Filed 12/21/17 Page 21 of 21
Form No. USA-33s-274 (Ed. 9-25-58)
UNITED STATES DISTRICT COURT SOUTHERN DISRTICT OF NEW YORK
UNITED STATES OF AMERICA
- v. -
COLIN STEVEN,
Defendant.
INFORMATION
17 Cr.
(18 u.s.c. §§ 371, 1343, 1349, 1956(h), 1956(a) (2) (A), 1001, 2;
15 U.S.C. §§ 78dd-1, 78ff(c) (2) (A).)
Joon H. Kim Acting United States Attorney
Sandra Moser Acting Chief, Fraud Section
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